Leonard Grossman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leonard Grossman was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1984. Leonard had worked at 18 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2004 - November 29, 2005
EMPIRE FINANCIAL GROUP, INC.
April 5, 2002 - August 21, 2003
S. B. CANTOR & CO., INC.
November 2, 1999 - June 18, 2001
KIRLIN SECURITIES INC.
June 1, 1999 - October 26, 1999
HAPOALIM SECURITIES USA, INC.
March 29, 1999 - June 1, 1999
STUART, COLEMAN & CO., INC.
February 13, 1998 - March 8, 1999
LABRANCHE FINANCIAL SERVICES, LLC
August 27, 1997 - February 24, 1998
STARR SECURITIES, INC.
June 2, 1993 - September 5, 1997
CROWN FINANCIAL GROUP, INC.
July 28, 1992 - May 27, 1993
REICH & CO., INC.
June 3, 1992 - August 6, 1992
FAB SECURITIES OF AMERICA, INC.
October 1, 1990 - May 27, 1992
REICH & CO., INC.
January 11, 1990 - October 3, 1990
R.H.DAMON & CO., INC.
November 13, 1987 - January 13, 1990
J. T. MORAN & CO., INC.
September 18, 1987 - December 18, 1987
GLADSTONE SECURITIES, INC.
June 30, 1986 - July 23, 1986
PHILIPS, APPEL & WALDEN, INC.
June 30, 1986 - October 8, 1987
MACPEG, ROSS, O'CONNELL & GOLDABER, INC.
July 9, 1985 - June 30, 1986
S. D. COHN & CO.
January 7, 1985 - July 31, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 1984 - January 11, 1985
S. D. COHN & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EMPIRE FINANCIAL GROUP, INC.
CRD#: 28759 / SEC#: , 8-43949
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | HOLDING COMPANY | |
| UCHENIK, VLAD | FINOP, COO, CFO | 4071805 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
